JH
Justin M. Happ
NVEST FINANCIAL
Portland, ME 04101
Some features on this profile are disabled
CRD#: 3127288
JH
Professional summary
Justin Michael Happ, who also goes by Justin Michael Happ, is a registered financial advisor currently at NVEST FINANCIAL, LLC located in Portland, Maine.
Justin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Justin has worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Justin Michael Happ
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
New Hampshire State Liquor Commission. Not investment related. Interstate 95 North, Hampton, NH 03843. Liquor sales. Clerk. Start date: September 2016. Approximately 60 hours/month, 0 hours during trading hours. Overseeing the store's displays for Powerbuy Wine Program , customer service, and cashiering.
CRS (Client Relationship Summary) - RIA
Click below to view Justin Michael Happ's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 13, 2022 - Present
NVEST FINANCIAL, LLC
Office #1: 254 Commercial Street Suite 245, Portland, ME 04101Office #2: Two International Drive Suite 110, Portsmouth, NH 03801Office #3: 69 York Street Suite 1, Kennebunk, ME 04043RIA
CRD#: 128868
Portland, ME
Past
May 14, 2013 - September 16, 2013
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
AMESBURY, MA
Past
August 20, 2001 - April 20, 2012
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
November 13, 1998 - May 16, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NVEST FINANCIAL, LLC
NVEST FINANCIAL GROUP, LLC | SAFE HARBOR RETIREMENT PLANNING, INC | NVEST FINANCIAL, LLC
CRD#: 128868 / SEC#: 801-123374
RIA
Registered Investment Advisory firm - (3/4/2022 Approved)Maine
Registered Investment Advisory firm - (3/14/2022 Terminated)Massachusetts
Registered Investment Advisory firm - (3/11/2022 Terminated)New Hampshire
Registered Investment Advisory firm - (3/25/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Maine(4/13/2022)
IAR
New Hampshire(4/13/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/21/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
NF
NVEST FINANCIAL, LLC
NVEST FINANCIAL GROUP, LLC | SAFE HARBOR RETIREMENT PLANNING, INC | NVEST FINANCIAL, LLC
CRD#: 128868 / SEC#: 801-123374
RIA
Registered Investment Advisory firm - (3/4/2022 Approved)Maine
Registered Investment Advisory firm - (3/14/2022 Terminated)Massachusetts
Registered Investment Advisory firm - (3/11/2022 Terminated)New Hampshire
Registered Investment Advisory firm - (3/25/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Two International Drive Suite 110, Portsmouth, NH 03801
Mailing Address
Phone number
(207) 985-8585
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,244 |
| AUM (Assets Under Management) | $ 523,359,300 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NVEST FINANCIAL, LLC
CRD#: 128868Portland, ME 04101TRUST BUT VERIFY
Monitor Justin Happ
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
